M. Holland West

M. Holland West

Dechert LLP

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SEC Adopts Certain Final Rules Relating to Cross-Border Security-Based Swap Activities

The U.S. Securities and Exchange Commission (SEC) adopted its final rules on the definition of the term “U.S. person” solely for purposes of certain aspects of cross-border security-based swap activities (Final Rules) on July...more

8/11/2014 - CFTC Credit Default Swaps Cross-Border Dodd-Frank SEC Swaps Title VII

International Arbitration of Financial Disputes: Key Questions Answered

This article addresses key questions concerning the use of international arbitration in cross-border financial transactions, and includes a discussion of the International Swaps and Derivatives Association (ISDA) September...more

3/28/2014 - Arbitration Cross-Border International Arbitration ISDA Swaps

Volcker Rule Regulations Issued: Understanding the Practical Implications for U.S. and Foreign Banking Entities, Funds and...

The Volcker Rule (“Volcker Rule” or “Rule”) is intended to limit risks to the financial system that Congress believes may be created by (i) proprietary trading operations of insured depository institutions, foreign banking...more

1/22/2014 - Banking Sector Collateralized Debt Obligations Dodd-Frank Financial Regulatory Reform Hedge Funds Proprietary Trading Trust Preferred Securities Volcker Rule

ISDA Adopts Model Arbitration Clauses for Use with ISDA Master Agreements

Following extensive consultation with its members, in September 2013 the International Swaps and Derivatives Association (“ISDA”) published seven model international arbitration clauses (the “Model Arbitration Clauses”) for...more

10/23/2013 - Arbitration Cross-Border ISDA OTC Swaps

CFTC Adopts New CPO Rules for Registered Investment Companies and Others

Introduction - The U.S. Commodity Futures Trading Commission (“CFTC”) recently released its long-awaited “Final Rule” to harmonize CFTC disclosure, reporting, and recordkeeping requirements with parallel U.S....more

10/7/2013 - CFTC Commodity Pool CPO International Harmonization Investment Company Act of 1940 Investment Corporations

CFTC Extends Certain SEF Reporting, Confirmation, and Documentation Compliance Dates

commoThe Division of Market Oversight (“Division”) of the U.S. Commodity Futures Trading Commission (“CFTC”) on September 27 and 30, 2013 issued several no-action letters to temporarily registered swap execution facilities...more

10/7/2013 - Asset Class CFTC Commodities Exchange Act Compliance Confirmation Proceedings Documentation Reporting Requirements SEFs Swaps

New NFA Quarterly Filing Requirements for all Registered CTAs: Action Required

The U.S. National Futures Association (NFA) has announced its eagerly anticipated new quarterly filing requirement for commodity trading advisors (CTAs). Such requirement will begin with the reporting of third quarter 2013...more

9/18/2013 - CFTC CTA Filing Requirements NFA Registration

CFTC Issues Guidance on Block Trade and Large Notional Off-Facility Swap Rules; Advisers Must Obtain Consents

The U.S. Commodity Futures Trading Commission (“CFTC”) has issued final rules (“Final Rules”) setting minimum block trade sizes for different types of CFTC regulated swaps that are permitted to be executed off-facility and...more

9/10/2013 - Block Trades CFTC Disclosure Requirements Dodd-Frank Final Rules Investment Adviser Swap Dealers Swaps

CFTC Issues Cross-Border Swaps Regulation Guidance and Exemptive Order

The U.S. Commodity Futures Trading Commission (“CFTC”) recently approved and issued its eagerly anticipated: i. final interpretive guidance and policy statement on the cross-border application of the swap regulation...more

8/7/2013 - CFTC Commodities Exchange Act Cross-Border Cross-Border Transactions Exemptive Orders Swaps

SEC Adopts Retail Foreign Exchange Rule in Order to Prevent Dodd-Frank Amendment from Disrupting the Retail Forex Markets

The U.S. Securities and Exchange Commission (“SEC”) on July 11, 2013 adopted Rule 15b12-1 (“Final Rule”) under the Securities Exchange Act of 1934 as amended (“Exchange Act”) in order to allow market participants to continue...more

8/5/2013 - CEA Disruptive Trading Practices Dodd-Frank Eligible Contract Participant Final Rules Foreign Exchanges Retail Market SEC

SEC Approves Final Rules that (1) Permit General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings and (2)...

The SEC has amended Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (Securities Act) to (1) permit, in certain circumstances, an issuer to engage in general solicitation and general advertising in...more

7/28/2013 - Accredited Investors Advertising Bad Actors Broker-Dealer Dodd-Frank Form D Filing Fund Managers General Solicitation Rule 144A Rule 506 Offerings Safe Harbors SEC Securities Act of 1933 Social Media

401(k) Plans—Potential Commodity Pool Issues in the United States

Under the rules of the Commodity Futures Trading Commission (“CFTC”), certain collective investment vehicles and other entities that, directly or indirectly, invest in “commodity interests” may be “commodity pools” whose...more

2/28/2013 - 401k CFTC Commodity Pool CPO NFA Participant-Directed Plans Retirement Plan

CFTC Issues Broad Securitization Industry Relief on Commodity Pool Regulation

On Friday, December 7, 2012, the U.S. Commodity Futures Trading Commission (CFTC), through its Division of Swap Dealer and Intermediary Oversight (Division), issued a letter which provides broad relief for certain segments of...more

12/13/2012 - CFTC Commodity Pool No-Action Relief Securitization Vehicles Swap Dealers

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